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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-02-24 |
| TX | RA | APPROVED_RES | 2021-02-24 |
Branch Locations
8687 E Via De Ventura Ste 200, Scottsdale, AZ 85258 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial | Scottsdale | AZ | 02/2014 | 02/2021 |
| Lpl Financial, Llc | Scottsdale | AZ | 02/2021 | Present |
1)2/2021- Progressive Financial Concepts- DBA for LPL Business (entity for LPL business)- Inv. Related- Scottsdale, AZ- start date 10/5/2005- 20hrs/mth 2)2/2021- LFB FINANCIAL LLC- Business Entity For Tax/Investment Purposes Only- Insurance commissions- Inv. Related- Mesa, AZ- start date 1/1/2015- 5hrs/mth 3)2/2021- Non-Variable Insurance- Agent selling Fixed Annuity, Life, and Health- Inv. Related- Scottsdale, AZ- start date 10/5/2005- 10hrs/mth 4)5/11/2021 - WCG Wealth Advisors, LLC - DBA: The Wealth Consulting Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 5/10/2021 - 0 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 2005-10-13 |
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